COMPLIANCE OPS & DDQs

Compliance Telescope

Improved Third Party Due Diligence

Improves due diligence of 3rd party research providers and vendors, including license and budget management. Leverages 100’s of pre-stored DDQ answers. Supports regulatory requirements for vendor due diligence and precautions against the misuse of material non-public information (MNPI). Proactively manage the risks associated with the methodologies and policies used by your 3rd party vendors, brokers, research providers and consultants. Supports approval workflow, interviews, research samples, private questions.

Compliance Wheelhouse

Single portal to manage all of the important aspects of running an efficient and productive compliance team. Goes beyond calendaring to include complete delegation management, past due alerts to compliance members and management, regular gifts and entertainment plus specialized political contribution approval and tracking, “intelligent” policies and procedures for documentation and training, errors reporting, and multi-level personal trading approval. Integrates into Castine’s Compliance Telescope for even fuller control of vendor due diligence and approval.